DISCIPLINED PERSONS LIST

Name Monterossa, Jose Alberto
Date of Order or Settlement June 20, 2002
Sanction

10-year trading ban with conditions

10-year director/officer ban with conditions

10-year investor relations ban with conditions

An undertaking not to apply for registration until 10 years after restitution has been made\

An undertaking to repay back all outstanding monies borrowed from all his former clients

An undertaking to comply with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines

Payment Agreed / Ordered An undertaking to make restitution
Violation

Failure to deal with clients fairly, honestly and in good faith

Ruling Body BCSC
Supporting Documents

News Release

Settlement/Order New window

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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.